Compliance- Software
(Incl. Social Media & Cloud Data Backup) [13]

Actiance Socialite
Actiance, Inc.
www.actiance.com
888-349-3223

Actiance delivers enterprise solutions that provide unified security and compliance across the broadest set of applications, including social media, instant messaging, and unified communications. Through its comprehensive set of content and archiving controls, Actiance enables organizations to safely leverage the benefits of these communications channels while remaining compliant with FINRA regulations.

Advent Rules Manager
Advent Software
www.advent.com/solutions/by-product/rules-manager
800-727-0605

From AS website: With Advent Rules Manager®, a comprehensive solution for trading compliance and portfolio monitoring, you can turn your manual policies and procedures into automated processes and take compliance to a new level.

Using Advent Rules Manager, you can easily and accurately define your trading and portfolio policies to automate control and review processes. This allows you to more efficiently manage diverse requirements from clients and regulators while reducing risk.

Arkovi
www.arkovi.com/
Blog: http://blog.arkovi.com/ 
866-222-2334

From Arkovi: The premier financial services solution for social media.

Arkovi delivers archiving, compliance and market intelligence tools you can access from anywhere there is a web browser (home, office, mobile). Our team collectively brings 55 years experience in the independent financial services industry. We will enable you to leverage the power of social media in your organization.

• Built by financial services professionals who understand your business
• Comply with FINRA and SEC regulations for record keeping of electronic communications
• Always on archiving and access to your social media accounts
• Powerful on-demand tools for search, reporting and export

Backupify
www.backupify.com/
Blog: http://blog.backupify.com/ 
800-571-4984

From Backupify website: Backupify provides daily automatic backups, archiving, and export for all your social media and SaaS data. Take back control of your online data with Backupify. As more and more data and applications move from PCs and local networks to the cloud, there is a clear need for a new category of data management services targeting data in the cloud. Backupify is the leader in this emerging market. Much of the data users generate today is not stored on personal computers; users have data locked up in Gmail, Facebook, Twitter, Google Docs, Basecamp and other online services. Backupify is not just about backup, it is about users controlling data independently instead of having it stored in hundreds of services all around the web.

Compliance11
www.compliance11.com/
888-868-5848

From C11 website: Compliance11 provides on-demand Compliance Software Automation Tools for the financial services industry. Compliance11 enables organizations to reduce their regulatory compliance spend by automating labor intensive tasks and at the same time increase the quality of their supervision. Compliance11's solutions automate Personal Trading, Affirmations & Disclosures, Gifts & Entertainment and Case Management.

Compliance Science
http://complysci.com
212-327-1533

From the CS website:

Products:

C-TRAC™ - An enterprise scaled tool designed to capture and certify institutional contract data across all clients and counterparty agreements including IMAs, Sub Advisory Agreements, Prospectuses, Subscriptions, High Net Worth, Wrap Accounts, ISDAs, Sec Lendings, Side Letters, etc. C-TRAC™ allows stakeholders to access and review all legal obligations 24x7x365 using secure browser based technology.

CSI DocVault™ - A searchable and sortable document tool designed specifically for Investment Advisors, Brokers/Dealers and Hedge Funds to better enable them to quickly and efficiently respond to regulatory exams. Our unique Text Capture system and OCR engine allows you to search documents and even image-scans based on the text within.

Personal Trading Control Center™ - PTCC™ provides complete Code of Ethics, 204 a-1, & 17j-1 surveillance and will significantly reduce your operating costs when compared to the traditional solutions . It provides all the features you would expect such as pre-clearance, electronic confirms, and back testing - plus features that no other system has such as "risk based" analysis, third party insider trading mapping, and other controls that support the scrutiny requested by the SEC’s recent hedge fund sweeps. PTCC™ will let you do much more and pay much less.

Services:

OMS Guideline Audit™ Order Management System ("OMS") Guideline Audit™: Our team of seasoned professionals analyze and identify each discrete investment guideline contained in your legal documentation. We then identify gaps in your compliance structure by specifically determining which guidelines are not being properly tested in your OMS. We can also streamline your workflow by identifying extraneous OMS tests.

Compliance Knowledge Management™ Compliance Knowledge Management™ ("CKM") is the methodology by which our consulting team analyzes the firm's current structure for adhering to each client's contractual obligation as well as for adhering to the statutory requirements imposed by each type of investment vehicle.

Audit Survival Prep™ ("ASP") – ASP is the proprietary CSI methodology deployed during CSI DocVault™ implementation. Our consulting team analyzes the firm's current structure for gathering, archiving, and otherwise preparing for internal and external audits by regulators. This a la carte service focuses on creating workflows to ensure that the lifecycle of information is maintained over time.

Global Support CSI offers on site and web based training, on line context sensitive help, user guides, and other various support plan options via our Help Desk including customer support representatives who can answer your questions 24x7x365.

Global Relay Communications
www.globalrelay.com
866-484-6630
info@globalrelay.net

Hearsay Social
http://hearsaysocial.com/
650-877-2486
Email: sales@hearsaycorp.com

Hearsay Social is a SaaS platform consisting of compliance, workflow, content management capabilities and analytics for use with Facebook, LinkedIn and Twitter. Its platform enterprise hierarchy management technology lets organizations easily manage social media efforts at local, regional and national levels from a central dashboard.

MailBanc
www.mailbanc.com
201-705-1200

From MB website: MailBanc is a division of MarketCounsel, an industry leader in regulatory compliance consulting, which offers a suite of hosted, secure technology tools designed specifically for investment advisers and broker-dealers. Our Messaging Solutions filter, capture, retain and monitor electronic messages to comply with the firm's regulatory obligations.


MyComplianceOffice
www.mycomplianceoffice.com
212-852-9028

From MCO website: Our Compliance Operations Management System (COMS) is a secure, web-based solution to automate and manage all your firms compliance activities. Our system brings data from different systems together allowing CCO's to analyze the different issues across their programs.

How the compliance management software works.

MyComplianceOffice compliance management software combines the power and flexibility of Approvals & Affirmations, Questionnaires and Attestations, Task Management & Workflow, Personal Trading, Document Management, and Case Management into a single, integrated, “easy to use” solution. A Dashboard view of the entire compliance program provides quick access to critical data. The combination of these features enables a firm to:

• Automate the many various compliance management activities of the compliance program that are currently manual.
• Capture all compliance management information (documents, comments, etc.) associated with the activities.
• Create a single system of record for all compliance management information for audit response.
• Retrieve data easily for testing or audit purposes.

National Regulatory Services
www.compliancemax.com
www.nrs-inc.com
860-435-0200
Email: info@nrs-inc.com

From NRS website: National Regulatory Services provides powerful technology products and solutions. Our technologies are designed by compliance professionals and built on the most advanced technologies in the market today. We have designed these technologies in a modular fashion, so they can work independently or as part of a comprehensive compliance solution. By leveraging technology in your compliance programs, your firm will realize gains in operational efficiency, oversight and employee satisfaction. Our products are built with your firm in mind, and our goal is to ease your compliance burden while improving your supervisory oversight.

The ComplianceMAX Portal: 
The foundation of the ComplianceMAX technology platform is the ComplianceMAX Portal. Through this web-interface, your managers, compliance personnel and associated persons can perform all of their regulatory activities. This portal is the framework for delivering your compliance program and it is designed to streamline your business.

Socialware
http://www.socialware.com/
Blog: http://blog.socialware.com/
877-329-8860

From Socialware website: Socialware bridges the gap between the enterprise and social networks to transform the way that companies and their employees engage, connect and communicate with clients, partners and one another. Our solutions allow companies to integrate social around their processes, not the other way around.

Smarsh
www.smarsh.com
866-SMARSH-1 (866-762-7741)

Email and IM archiving and social media compliance software.